JOB DESCRIPTION SUMMARY

Clients are our main priority at Malison Financial Group. We work hard as a team, and we are proud to make a difference in our clients’ lives. As we continue to grow, we are adding a Registered Client Associate to our team. We are seeking a client-focused, reliable team player who shares our values.

KNOWLEDGE OF

• Company’s working structure, policies, mission, and strategies.
• Managed account platforms.
• General office practices, procedures, and methods
• Investment concepts, practices and procedures used in the securities industry
• Financial markets, products and industry regulations
• Trading terminology

SKILL IN

• Client Relationship Management (CRM) software, or similar contact management software
• Goal planning software
• Excel, including developing spreadsheets as needed and for ongoing reporting
• Effective communication across multiple client interactive platforms (in-person, virtual, phone and mail)

EDUCATION

High School (HS) (Required)

WORK EXPERIENCE

General Experience - 13 months to 3 years

• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, scheduling of meetings with prospective and existing clients
• Works both independently and within a team environment to provide crucial support to the financial advisors and branch office
• Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
• Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
• Processes and monitors the transfer of assets to ensure all assets and cost basis were successfully received
• Monitors available cash awaiting investment, including running weekly cash and cash equivalent reports and contacting clients with investment opportunities to maximize returns
• Prepares financial reports, spreadsheets and other materials for client meetings
• Inputs orders and rebalances portfolios on behalf of the Financial Advisors
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures
• Performs other duties and responsibilities as assigned